Rule 6a-3 Supplemental Material to be Filed by Exchanges

Forms and Documents

Document	Type	Status	Availability
Supporting Statement 6a-3 2016 DGL REVISED.pdf	Supporting Statement A	Uploaded 2016-07-14	Available

IC Document Collections

IC ID	Collection	Type	Status	Form
34055	Rule 6a-3 Supplemental Material to be Filed by Exchanges		Modified

ICR Details

OMB Control No: 3235-0021	ICR Reference No: 201603-3235-003
Status: Historical Active	Previous ICR Reference No: 201304-3235-003
Agency/Subagency: SEC	Agency Tracking No: TM-270-015
Title: Rule 6a-3 Supplemental Material to be Filed by Exchanges
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 08/19/2016
	Date Received in OIRA: 07/14/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	08/31/2019	36 Months From Approved	08/31/2016
Responses	228	0	475
Time Burden (Hours)	114	0	238
Cost Burden (Dollars)	4,560	0	0

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Abstract: Rule 6a-3 requires national securities exchanges (or exchanges exempt from registration because of limited volume) to submit to the Commission: (1) certain information that the exchange provides to its members, and (2) monthly reports about the number of shares and the aggregate dollar or principal amount of securities traded on that exchange. This information helps the Commission to ensure that the activities of the exchange are in conformance with the Securities Exchange Act of 1934.

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Authorizing Statute(s): US Code: 15 USC 78f(a) Name of Law: Securities Exchange Act of 1934
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 26272	05/02/2016
30-day Notice:	Federal Register Citation:	Citation Date:
	81 FR 44395	07/07/2016
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Rule 6a-3 Supplemental Material to be Filed by Exchanges

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	228	475	0	0	-247	0
Annual Time Burden (Hours)	114	238	0	0	-124	0
Annual Cost Burden (Dollars)	4,560	0	0	0	4,560	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The estimated time burden has decreased to reflect a smaller number of anticipated submissions pursuant to Rule 6a-3 based on actual numbers of submissions received. In addition, the Commission has included an itemized cost for shipping, which, in previous years, had been aggregated as an operational cost of compliance.

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Annual Cost to Federal Government: $37,050

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 07/14/2016

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